SR-NASD-2004-014
Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150
NASD has filed with the SEC a proposed rule change to adopt Interpretative Material 3150 ("IM-3150") to establish exemptions from the reporting requirements of NASD Rule 3150.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 37.84 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 17.92 KB | |
| Notice of Filing and Immediate Effectiveness | PDF - 44.85 KB |